RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
D•••• W•••••• K•••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Jun 16, 2020 · Chicago, Il
- P••••••••• P•••••••• L•• formerJun 6, 2016 to Jun 16, 2020 · Reston, Va
- H•••••••• A•••••••• L•• BD affiliatedJul 29, 2011 to Mar 10, 2016 · Reston, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 1998 to Aug 2, 2011 · Washington, Dc
- P••••••••• P•••••••• L•• to C•••••• A•••• M••••••••• L••left Jun 16, 2020, registered Jun 16, 2020 (0 days) · RIA to RIA · moved with a team
- H•••••••• A•••••••• L•• to P••••••••• P•••••••• L••left Mar 10, 2016, registered Jun 6, 2016 (88 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••left Aug 2, 2011, registered Jul 29, 2011 (-4 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address